Risk and Compliance Officer - London, United Kingdom - Howard Kennedy

Howard Kennedy

Verified Company

London, United Kingdom

15 hours ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

The role

The Risk and Compliance team are tasked with delivering the firm's objectives in reducing risk and achieving across the board compliance with its regulatory and statutory obligations.

We are looking for an experienced Risk and Compliance Officer to join us on a permanent basis.

Your primary role will be to assist the firm in achieving its objectives around compliant file opening, in particular Client Due Diligence (CDD) procedures.

However, you will also be actively involved in a variety of projects and will be given the opportunity and encouraged to develop your skills and knowledge in other areas.

Main responsibilities
You will have responsibility for a variety of tasks including;

Reviewing the CDD provided by lawyers on clients and, where necessary, seeking clarification or more information from lawyers.
Obtaining CDD directly from clients and explaining to clients the firm's requirements.
Approving or rejecting that CDD and providing guidance to lawyers.
Creating client profiles where necessary.
Filing and completing risk assessments.
Reporting trends regarding CDD queries to identify ongoing training needs.
Assisting in the ongoing monitoring of highrisk clients and upkeep of the highrisk register.
Conducting sanctions, PEP and adverse media checks for all clients and counter parties using Accuity and conducting any other checks that are deemed necessary.
Conducting 'reverse' sanctions checks by obtaining the new sanctions lists and running the names through the database and reporting on the results;
Providing ad hoc administrative assistance to the team when required as requested by the Client onboarding Manager, to include but not limited to:
the ongoing maintenance of the firm's Conveyancing Quality Scheme membership

- the ongoing maintenance of Lender Panel memberships (Lender Exchange, LMS etc)
- maintaining the risk and compliance page on the intranet
- enrolling all new starters on Risk and Compliance training via our online training provider; and enrolling all staff members onto training courses as and when necessary

Involvement in a variety of projects that the team undertake.

About you
Ideally you will be able to demonstrate;

Previous experience in a similar role with a good understanding of CDD requirements for various client types and a working knowledge of the Money Laundering Regulations
Strong communication and stakeholder management skills, with confidence in dealing with stakeholders at all levels
Excellent organisational skills, with the ability to manage and prioritise your own workload
Previous experience working in a law firm or within the regulatory area
Previous experience working with Elite, File Site, Mattersphere and Accuity
International Compliance Association qualification in Money Laundering
A proactive approach and flexible approach to your work
An analytical mindset
An ability and confidence to be able to manage client expectations
A desire to collaborate and share ideas with the team

About Us

We are a London based, full-service law firm, specialising in providing straightforward advice to entrepreneurial businesses and individuals on domestic and international matters.

We have grown substantially in recent years, including two mergers and an office move.

We've also matured in terms of our approach to providing advice to our clients, seeking to simplify and improve the experience of working with a modern, independent law firm.

We're proud of our journey. Without losing sight of where we've come from, we are focused on where we're going. We are evolving and growing every day. And just like our clients, we are ambitious and moving forward. Many of our clients are entrepreneurial, ambitious enterprises who are often privately or family owned, or private equity backed.

We are one of the only London based law firms with a large private wealth offering alongside significant business law capability.

The firm also advises major corporates on particular specialist legal matters who find our straightforward approach a compelling alternative to larger, less personal firms.

Benefits: